Licensing
🏛 SEC
Investment Adviser Registration
Investment advisers managing $110 million or more in assets must register with the SEC. Smaller advisers typically register with state securities regulators. Registration requires Form ADV filing, compliance program, and ongoing disclosure obligations.
Source Agency
SEC — Securities and Exchange Commission
SEC — Securities and Exchange Commission
Last Verified
March 1, 2026
March 1, 2026
Next Review
May 30, 2026
May 30, 2026